Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
351.11(a)(2) Documentation of plan to provide advisory services via covered fund with bona fide trust (Ongoing) Modified 13 130 0
351.11(a)(2) Documentation of plan to provide advisory services via covered fund with bona fide trust provision (Implementation) Modified 1 10 0
351.11(a)(8)(i) Covered fund disclosures (Implementation) Modified 26 3 0
351.11(a)(8)(i) Covered fund disclosures (Ongoing) Modified 338 34 0
351.12 (e) Application to extend time to divest ownership interest in covered fund (Implemntation) Modified 1 50 0
351.12(e) Application to extend time to divest ownership interest in a covered fund (Ongoing) Modified 130 2600 0
351.20(b) Compliance program (Implementation) Modified 1 795 0
351.20(b) Compliance program (Ongoing) Modified 6 1590 0
351.20(c) CEO Attestation (Implementation) New 1 300 0
351.20(c) CEO Attestation (Ongoing) New 13 1300 0
351.20(d) Compliance Program ($10 to $50 billion)(Implementation) New 1 125 0
351.20(d) Compliance Program ($10 tor $50 billion)(Ongoing) New 3 165 0
351.20(d) Compliance Program (over $50 billion)(Implementation) New 1 125 0
351.20(d) Compliance Program (over $50 billion)(Ongoing) New 12 492 0
351.20(d) Compliance Program Recordkeeping ($10 to $50 billion)(Implementation) New 1 10 0
351.20(d) Compliance Program Recordkeeping (over $50 billion)(Implementation) New 1 13 0
351.20(d) Compliance Program Recordkeeping (over $50 billion)(Ongoing) New 6 78 0
351.20(d) Compliance Program Recordkeeping (over $50 billion)(Ongoing) New 1 10 0
351.20(e) Program for compliance additional documentation for covered funds (Implementation) Modified 1 200 0
351.20(e) Program for compliance additional documentation for covered funds (Ongoing) Modified 6 1200 0
351.20(f)(1) Simplified compliance program for less active entities (Implementation) Modified 1 8 0
351.20(f)(1) Simplified compliance program for less active entities (Ongoing) Modified 40 320 0
351.20(f)(2) Simplified compliance program for entities with modest activities (Implementation) Modified 1 100 0
351.20(f)(2) Simplified compliance program for entities with modest activities (Ongoing) Modified 7 280 0
351.3(c) Notification of Trading Activity in Excess of $25 Million (Implementation) New 1 1 0
351.3(c) Notification of Trading Activity in Excess of $25 Million (Ongoing) New 26 26 0
351.3(d)(3) Proprietary trading liquidity management plan (Implementation) Modified 1 3 0
351.3(d)(3) Proprietary trading liquidity management plan (Ongoing) Modified 13 13 0
351.3(g) Response to Determination that Transaction is for Trading Account (Implementation) New 1 2 0
351.3(g) Response to Determination that Transaction is for Trading Account (Ongoing) New 13 26 0
351.4(b)(3)(i)(A) Underwriting/market-making trading desk documentation (Implementation) Modified 1 2 0
351.4(b)(3)(i)(A) Underwriting/market-making trading desk documentation (Ongoing) Modified 52 104 0
351.5(c) List of Pre-Approved Financial Instruments (Implementation) New 1 40 0
351.5(c) List of Pre-Approved Financial Instruments (Ongoing) New 6 480 0
Total burden requested under this ICR: 727 10635 0  
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